Final Rule

Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception

Prior Actions

Title
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
Release Number
34-74834
SEC Issue Date
Federal Register Publish Date
Document Citation

80 FR 27443

RIN
3235-AL73

Resources

Proposed Rule: SEC Issued Version (pdf 1.25 MB)
Proposed Rule: Federal Register Version
View Received Comments

Last Reviewed or Updated: April 7, 2023